Nasdaq PHLX Accepts Settlement with Avatar Securities Over Supervision Failures
Nasdaq PHLX settles with proprietary trading firm Avatar Securities over deficient supervision systems and market manipulation safeguards.
Nasdaq Fines UBS Securities for Inadequate Market Access Controls on Warrant Orders
Nasdaq settles with UBS Securities over deficient market access controls for warrant orders during 2023-2025 period.
AUSTRAC Removes 45 Payment Firms in Crackdown on Money Laundering Risk
AUSTRAC removes 45 payment service providers amid intensified crackdown on money laundering and terrorism financing risks.
BaFin Fines Company for Market Manipulation Through Incomplete Voting Rights Disclosure
BaFin fines responsible parties for incomplete voting rights disclosure at TUI AG causing market manipulation.
CONSOB Dismantles 11 Illegal Investment Websites, Warns of AI-Driven Fraud Tactics
CONSOB blocks 11 unauthorised investment websites, bringing total to 1,816 since 2019, and warns of AI-enhanced fraud tactics.
BaFin Issues Warning Against Unauthorized Crypto and Financial Services Provider
BaFin warns against rheinbridge.capital for offering unauthorized financial and cryptocurrency services in Germany.
BaFin Issues Warning Against Unauthorized Broker east-stock.com
BaFin warns consumers about east-stock.com, which illegally offers investment services and falsely claims regulatory approval.
Argentina’s Securities Regulator Launches New Compatibility Matrix for Market Participants
Argentina's CNV introduces compatibility matrix clarifying simultaneous activities for securities market participants and virtual asset providers.
BaFin Fines H2 Core AG for Failure to File Financial Reports
BaFin fines H2 Core AG for failing to electronically submit 2024 financial reports to German Federal Gazette.
Hong Kong Monetary Authority Warns of Escalating Bank Scams Targeting Customers
HKMA warns of phishing scams targeting Bank of China and OCBC Bank customers in Hong Kong.